Compliance Manager - Testing & Remediation
Apply NowCompany: eToro
Location: Hoboken, NJ 07030
Description:
Description
eToro has created an intuitive Social Trading platform that gives traders and investors access to global stock markets, commodity trading, cryptocurrency trading, and more. We strive to make money management available and accessible to everyone (even to users with no prior experience or knowledge). We have over 33 million users worldwide, and our platform is available in over 140 countries around the world.
With over 1500 employees worldwide, We have locations in the US, Cyprus, UK, Australia, Germany, and Israel, and we are constantly growing and expanding into new markets.
Come join our Award-Winning Compliance team! The Compliance team is key to eToro USA's team. The Compliance team provides service, support, and advice to promote the firm's growth and development while helping employees and the firm meet their regulatory obligations and, more broadly, preserve and enhance our reputation for integrity.
This role will support our compliance program, with a primary focus on examination and audit tracking and remediation, internal testing including vendor management, and privacy to ensure the Firm's compliance with applicable rules and regulations.
What will you be doing?
Actively manage the tracking of all examination and audit remediation, including coordination with relevant business partners, prioritization, development of management action plans, and providing regular status updates to senior leadership
Provide general support for regulatory examinations and audits
Conduct regular compliance testing of the business in accordance with FINRA Rule 3110, in addition to new products, eToro's vendors, and regulatory reporting.
Conduct due diligence of new vendors as part of the onboarding process and manage the end-of-life cycle when a vendor is no longer needed
Support the due diligence process and ongoing content review of new and current affiliate/referral partners
Manage and enhance eToro's privacy program to ensure compliance with Gramm-Leach-Bliley Act requirements and other applicable rules and regulations
Other projects or tasks as assigned
Requirements
3+ years of financial services or auditing experience
Series 7 & 24 preferred
Program or project management experience would be highly valuable
Comfortable working in a fast-paced start-up environment
Great communication and problem-solving skills
What We Offer:
Hybrid work model
Competitive salary
Comprehensive benefits package
Team events
Cell phone stipend
Daily lunch
Gym stipend
6% 401K match
100% insurance coverage for the employee
Location:
This position offers a hybrid work model, with the flexibility to work remotely with in-office attendance in Hoboken, NJ required at least once a week if located in that area. This role may be based in any of the following hybrid locations eventually:
New York City metropolitan area
Austin, Texas
Washington, D.C. metropolitan area
eToro has created an intuitive Social Trading platform that gives traders and investors access to global stock markets, commodity trading, cryptocurrency trading, and more. We strive to make money management available and accessible to everyone (even to users with no prior experience or knowledge). We have over 33 million users worldwide, and our platform is available in over 140 countries around the world.
With over 1500 employees worldwide, We have locations in the US, Cyprus, UK, Australia, Germany, and Israel, and we are constantly growing and expanding into new markets.
Come join our Award-Winning Compliance team! The Compliance team is key to eToro USA's team. The Compliance team provides service, support, and advice to promote the firm's growth and development while helping employees and the firm meet their regulatory obligations and, more broadly, preserve and enhance our reputation for integrity.
This role will support our compliance program, with a primary focus on examination and audit tracking and remediation, internal testing including vendor management, and privacy to ensure the Firm's compliance with applicable rules and regulations.
What will you be doing?
Actively manage the tracking of all examination and audit remediation, including coordination with relevant business partners, prioritization, development of management action plans, and providing regular status updates to senior leadership
Provide general support for regulatory examinations and audits
Conduct regular compliance testing of the business in accordance with FINRA Rule 3110, in addition to new products, eToro's vendors, and regulatory reporting.
Conduct due diligence of new vendors as part of the onboarding process and manage the end-of-life cycle when a vendor is no longer needed
Support the due diligence process and ongoing content review of new and current affiliate/referral partners
Manage and enhance eToro's privacy program to ensure compliance with Gramm-Leach-Bliley Act requirements and other applicable rules and regulations
Other projects or tasks as assigned
Requirements
3+ years of financial services or auditing experience
Series 7 & 24 preferred
Program or project management experience would be highly valuable
Comfortable working in a fast-paced start-up environment
Great communication and problem-solving skills
What We Offer:
Hybrid work model
Competitive salary
Comprehensive benefits package
Team events
Cell phone stipend
Daily lunch
Gym stipend
6% 401K match
100% insurance coverage for the employee
Location:
This position offers a hybrid work model, with the flexibility to work remotely with in-office attendance in Hoboken, NJ required at least once a week if located in that area. This role may be based in any of the following hybrid locations eventually:
New York City metropolitan area
Austin, Texas
Washington, D.C. metropolitan area